Telematics for libraries. Call for proposals 1996. Background Notes. Telematics applications programme 1994-1998

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European Commission

Directorate General XIII/E

Electronic publishing and libraries

TELEMATICS APPLICATIONS

PROGRAMME 1994-1998

Telematics for Libraries

Libraries helpdesk: Fax: +352 4301 33530 Tel: +352 4301 34071

Call for Proposals 1996

Background Notes

Addenda and Corrigenda

Please note important changes in this version, as against that of February 1995, at:

- Introduction: pages 3 and 4

- Objectives: pages 7 and 8

- Libraries proposals: pages 11, 13, 14 and 15

- Document and references: page 16

- Appendix AI: Expansion of research tasks - revised, October 1996 (for details see page 2 of the Appendix)

- Appendix A2: Outline of a proposal to be submitted to the LffiRARIES sector of the Telematics Applications Programme (form)

- Appendix A3: Project description: summary of main points

- Appendix A4: List ofNational Focal Points for "Telematics for Libraries"

Introduction

Relevant Information

This Document

TELEMATICS

Information Package

Closing

Outline Proposals

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Contact Points

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Telematics for Libraries

These notes are intended for organisations planning to submit project proposals in response to Calls for Proposals issued under the TELEMATICS

APPUCATIONS PROGRAMME- SECTOR 5: LIBRARIES.

The purpose of this document is to characterise the framework for and indicate the scope of the second Call for Proposals for collaborative RTD projects and support actions in the UBRARIES Sector.

This information is to be used in conjunction with the following documents:

0 the Text of the TELEMATICS APPUCATIONS Call for Proposals as published in the Official Journal of the European Communities;

0 the TELEMATICS APPUCATIONS Information Package (fourth Call for Proposals), which includes general eligibility and evaluation criteria, submission details and programme contact points, as well as application forms;

0 the work-programme of the TELEMATICS APPLICATIONS PROGRAMME and its Technical Annex (version 1996).

[X> Copies of the TELEMATICS APPLICATIONS Information Package and other general information can be obtained from the TELEMATICS Helpdesk in Brussels or Luxembourg. Libraries sector specific background and reference material can also be downloaded from the I*M Europe web server at:

http://www.echo.lullibrarieslenllibraries.html

The closing date of the Call is 15 April1997. Submissions must be delivered according to the conditions stipulated in the TELEMATICS APPLICATIONS Information Package. The evaluation and selection of proposals will be

conducted in May/June 1997. For proposals under further consideration, the Commission may ask for additional information to enable it to reach a decision about the proposal. Proposers must be prepared to meet Commission programme staff in Luxembourg to provide this additional information as well as for negotiation purposes.

An outline proposal may be completed and submitted for pre-screening. We strongly advise you to use the Libraries form appended to this document ([i)

Appendix A2) for this purpose. The submission of outline proposals is optional. It serves the purpose of eliciting feedback from the Commission services on eligibility and relevance for the sector. All outline proposals received on the Libraries form will in addition be professionally assessed by experts. It should be sent preferably by fax, as soon as possible and no later

than 28 February 1997, to the following address:

European Commission - DG XIII-E/4 - Ubraries sector Bltiment Euroforum (EUFO 1275)

Rue Alcide de Gasper! L-2920 Luxembourg Fax: +352 4301 33530

Proposers are reminded of the following contact points for this Call for Proposals ([X> for the schedule and other details, please refer to the Call Text and the TELEMATICS APPLICATIONS Information Package):

TELEMATICS Helpdesk Sectoral Enquiries Programme National Contact Points Libraries National Focal Points Scope of the Call

Integrated Application and Cross Sectoral Projects

Telematics for Libraries

For all general enqwnes regarding the TELEMATICS APPUCATIONS

PROGRAMME, please contact:

In Brussels:

TB.EMATICS APPLICATIONS PROGRAMME lnfodesk DGXIII-C1, Proposals OffiCe

Rue de Ia Loi 200 (BU29, ~)

B-1 049 Brussels Fax: +32 2 295 2354 Phone: +32 2 295 4560

E-mail: telematic&Gbxl.dg13.cec.be In Luxemboura:

TB.EMATICS APPLICATIONS PROGRAMME DGXIII-E Proposals Office, Euroforum (EUFO 1267) L-2920 Luxembourg

Fax: +352 4011 62852 Phone: +352 4011 62850 E-mail: telematicsQecho.lu

For all specific enquiries regarding the Libraries Sector, please contact:

European CorM1ission DG XIII-E/4 Ubraries sector

BAtirnent Euroforum (EUFO 1276) Rue Alcide de Gasperi

L-2920 Luxembourg Fax: +352 4301 33530

Phone: +352 4301 34071 or 32126

II> see the list in the TELEMATICS APPUCATIONS Information Package.

National Focal Points for Libraries have been established in all the Member States and have already been actively supporting, at national level, EU

actions in the sector under the Third Framework Programme (FP lll).

Thanks to their experience, they will be able to assist proposers requiring sector-specific advice and information. The list providing practical details

(addresses, phone numbers, etc.) is included in Appendix A4.

The scope of this second Call covers the three action lines of the workplan as

identified in the next chapter as well as the support actions specific to the

Libraries sector. It is therefore basically the same as the scope of the first

Call of the sector published in March 1995 (CfP'95). Specific features are

described in the chapter on Libraries proposals. The research "Call topics"

have been streamlined to remove ambiguities which existed in version 1 (li>

see Appendix AI).

A separate Call for Proposals is planned by the TELEMATICS APPUCATIONS

PROGRAMME for "Integrated Applications for Digital Sites (lADS)" in which libraries can be participants, under the specific conditions specified for that

Call. Note that the dates and mechanisms for the lADS Call are different

from the sector Call.

With respect to cross-sectoral projects, proposals including libraries are

required to take into account the specific aims, priorities and topics of the

Telematics for Libraries Workplan in the definition of their projects -and

that not only, evidently in cases where Libraries is the lead sector, but also

where it is one of the secondary sectors.

Objectives

The Broader Background

Telematics for Libraries

The advent of the information society creates formidable challenges for Europe. The digital revolution will trigger profound structural changes which will affect societal and cultural life and will eventually lead to a knowledge-based economy. The Commission's White Paper on "Growth, Competitiveness, Employment"R1 acknowledges the importance of this process and develops a positive vision stressing the potential impact of information and communication products and services on growth, competitiveness, employment and quality of life.

As a result of the discussions that followed the presentation of the White Paper, a group of high-level personalities chaired by Commissioner Bangemann was entrusted with the preparation of a strategic action plan designed to facilitate and accelerate Europe's transition into the global information society. The so-called "Bangemann Report"R.2 advocates the concentration of effort on key application areas. The rapid realisation of applications largely based upon existing technologies is expected to engender the critical mass necessary to stimulate further development and widespread use, and, ultimately, to help raise the investment needed to create effective information infrastructures in Europe. Benefits in the form of new products, a wider choice of services, more effective work flows and processes and

better public services will ~ felt by citizens and consumers, administrations and businesses, including SMEs.

Moreover, these challenges have also been tackled at the G7 level, bringing together ministers from the world's seven richest nations at a special meeting hosted by the Commission on 25-26 February 1995. Guided by a shared political vision and common principles, this landmark conference provides strategic impetus towards achieving common goals in promoting a global information society.

The Information and Communication Technologies (ICT) Specific Programmes launched under the FOURTH FRAMEWORK PROGRAMMER3, viz. IT

(formerly ESPR.IT), ACTS (formerly RACE) and the TELEMATICS APPUCATIONS PROGR.AMMER4 with its 13 different Sectors of activity including Libraries, are well positioned to contribute to the realisation of these targets.

TELEMATICS APPUCATIONS projects aim at configuring and adapting existing

and emerging technologies into useful, user-friendly and cost-effective applications. These are meant to encompass all systems and services that use combinations of ICT, and their integration and validation in the user environment.

User Involvement and Libraries

Sector Objectives and Action Lines

The TELEMATICS APPUCATIONS PROGRAMME places emphasis on the

involvement of Users in all stages of the project life-cycle.

In the Libraries sector the two groups of users are:

• the libraries and librarians themselves (professional users);

• the users of library services.

The libraries fall into various categories: national libraries, public libraries, academic and research libraries, special libraries, corporate libraries, etc. A balance has been struck in the workplan between attracting the further involvement of public libraries in view of the vast user population they serve, and reinforcing the participation of academic and special libraries.

The end-users potentially include all citizens of Europe, as libraries and

library services are used extensively throughout society. The evolving library

services addressed will thus attract users interested in science and

technology, education and training, business and finance, and, of course, culture and entertainment. Increasingly, by introducing user-friendly interfaces to telematics services, end-users will have more direct access both to the library collections themselves and to information available to libraries through the networks.

The long-term objective of EU Libraries Actions remains that of helping to

create a modem libraries infrastructure in support of economic, social and cultural lifo in the European Union, by enhancing the availability and accessibility of library services; by further integrating library services within the information infrastructure, and by enhancing technical and management skills, awareness and innovative attitudes. This will be promoted through three action lines:

Action Line A I. Network-oriented Internal Library Systems - designed to ensure that

libraries are better placed to offer network-based services.

Action Line B 2. Telematics Applications for Interconnected library services - designed to improve cooperation, resource development and resource sharing

between libraries and encourage the shift from collection to access

based services through interconnections between libraries, suppliers and

publishers. ·

Action Une c 3. Library Services for access to networked information resources

-Telematics for Libraries

designed to build on and extend information resources and services

mediated and delivered by libraries.

In operational terms, this entails:

Consolidation and integration of results from the start-up Libraries

sub-programme under FP ill;

Implementation of new models of library service;

Development of new methods of library practice;

Improved penetration of telematics applications in libraries and development of corresponding network tools and services;

Exploration of related economic, legal and electronic preservation issues through test-beds;

Application of library standards and generic standards of specific value to libraries.

There is a large degree of continuity and coherence with previous work

which emphasised cooperation between libraries and coordination with national strategies.

Priorities

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Multimedia

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I

Calls for Proposals

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Telematics for Libraries

Many issues addressed under the start-up Libraries sub-programme under

FP

m

continue to be relevant and require further work to be done.

Nevertheless, the achievements under the Third Framework Programme

allow a shift in emphasis. For example, the results (building blocks, methods, models and lessons learned) should now be integrated into operational and service settings for further expansion and development.

Action Line C, however, adds a new focus. It responds to the emerging

preoccupation of libraries with their role in the wider information infrastructure, in particular in relation to networked resources.

The Libraries workplan (IE> see the TELEMATICS APPUCATIONS

WORK-PROGRAMME , Area B, sector 5) identifies a number of priorities and

characteristics which underpin the approach and are designed to:

• promote projects and applications based on real needs and

requirements, leading to concrete results with practical and visible

demonstrators and capable of replication and multiplier effect;

• focus on systems and applications integration into new library service

areas and on the integration of existing and emerging technologies into demonstrable applications;

• consolidate and exploit (eg by transfer, further development) results

from the Libraries sub-programme in order to build on the impetus developed by the start-up actions;

• emphasise the continuing commitment to open standards;

• address human resource issues, knowledge and skills transfer, and

organisational issues: these remain critical to the successful

implementation of the change needed if disparities in level of service

across all types of libraries throughout the EU are to be reduced;

• generate scope for links with other programmes and with other sectors

in the TELEMATICS APPUCATIONS PROGRAMME (eg education and

training, research, language engineering, information engineering, urban and rural areas, disabled and elderly people) where common problems or user communities exist for services or where libraries can be used as test grounds for results;

• encourage new alliances with: traditional partners ( eg publishers,

distributors) or with new partners (providers of distance learning, new

networked information providers, network service providers etc) and

even with other "memory organisations" (in order to arrive at common

solutions in areas of common interest such as preservation and access).

The TELEMATICS APPUCATIONS PROGRAMME places emphasis on the shift

from data to multimedia telematics, in line with technological advances, the

development of new markets and user expectations. In the Libraries sector

multimedia covers all media stored, managed or used by libraries which can

benefit directly or indirectly, either singly or in combinations, from the use of telematic technologies.

This Libraries Call coven all tasks and related Call topics for the 3 Action Lines (IE> see Appendix At) to be addressed through cooperative shared-cost R&TD projects as weD as specific support measures which are relevant to the Workplan.

The total budget earmarked for this Call is around 10 MECU. This Call is

designed to reinforce and follow-up the results achieved through the first call

and from recent projects under FP III.

Summary

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Telematics for Libraries

The matrix below gives a summary of the Libraries action lines, tasks and related call topics supported in this Telematics for Libraries Call for Proposals. The implementation aspects are described in the following chapters.

Action Lines Task Related call topics Estimated percentage of overaH

Goals Ubraries sector budget

A 1.1 1, 2, 3 _15-20%

1.2 1, 2, 3 2.1 4-Sbis, 7bis

B 2.2 4-Sbis, 7bis _60-70%

2.3 6bis

2.4 4-Sbis, 6bis, 7bis

c

3.1 8-10bis, 11 _15-20%

3.2 8-10bis, 12

Sector specifiC support/accompanying measures _(5-10%)

Implementation of Projects

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Phases

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Stage 1: Analysis and Preparation of Specifications

Stage II: Detailed Design, Development and Testing

Stage Ill: Demonstration, Documentation and Exploitation Plans

Telematics for Libraries

According to the rules for the implementation of the TELEMATICS

APPUCATIONS PROORAMME, each project normally consists of five phases.

However, in view of the project management approach adopted in the Libraries Sector ([i) Chapter 'Libraries Proposals'), these phases have been collapsed into three self-contained stages, each characterised by identifiable achievements and milestones. Proposers are therefore encouraged to follow the scheme described below in the narrative part of their proposals.

This stage brings together phases 1 and 2 of the schema since it is assumed that the problem and the needs are already identified in general terms by the participating libraries. What is required in this stage is detailed analysis, specifications and performance targets for the functional, technical and operational requirements for meeting these known needs, as well as early plans for the implementation. It is also in this stage that the feasibility of the options is assessed.

This stage embraces phase 3 and the verification part of phase 4, so that the creation and validation of a demonstrator against the specifications drawn up in the first stage can be perfonned in an interactive cycle until satisfactory results are achieved in relation to the libraries requirements. During this stage the results from testing may require revision of the specifications and of the test criteria and their performance measurement. In addition plans and arrangements for the next stage of the demonstration will need to be carefully prepared.

For this stage the demonstrator should be sufficiently stable and robust for rigorous validation by an optimum number of libraries under near operational conditions. The criteria drawn up during the first stage, and

refined in the light of experience with the testing during the second stage, should be the basis of the evaluation. Sufficient time should be allowed for the demonstration stage in order to enable the libraries involved to assess the potential benefit and the demand for the new possibilities offered to them. Time is also required to collect adequate data and information so that finn

plans can be drawn up to exploit the demonstration service as a full

operational and economically viable service. These plans are required to meet the obligations of phase 5 of the schema.

Finally to ensure the widest possible benefit from the project, the documentation of the methods, techniques and systems used during all three

stages should be sufficiently detailed for replication and further development of the demonstrator by others.

Dissemination and Concertation

Legal Issues

Telematics for Libraries

Partners in projects (project consortia) will establish plans for the promotion and dissemination of intermediate and final results by such means as demonstrations, open days, workshops and publications.

Concertation meetings and groups will be set up involving project participants and other parties to maximise synergies between clusters of projects addressing related issues and between cross-sectoral projects. The

Commission expects consortia to take an active part in such concertation.

During the course of the project, the consortium must take account of relevant legal issues affecting the project, e.g. copyright and exploitation rights, in order to make sure that appropriate permissions and licences are acquired. This is necessary not only to protect the viability of the project but also to contribute to knowledge of the impacts of such issues in view of their

importance to the development of the information society.

Libraries Proposals

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Consortia

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Eligibility of consortia

Size and Scope

Private sector Involvement Multiple Disciplines

Project Description

Scope of description

Milestones

Project description

Telematics for Libraries

This Chapter provides practical guidance for proposers. The guidelines presented here are concomitant with the general requirements set out in the TELEMATICS Infonnation Package.

Libraries consortia must conform to the standard eligibility criteria set out in the TELEMATICS Infonnation Package. In additio~ they should be

characterised by:

[J Library participation in projects -all proposals must have at least one

library or library-related organisation ( eg. library cooperative, etc.) as a full partner of the consortium and participating actively in the work of the project. In addition a representative sample of libraries must be

involved (not necessarily as full partners) as test-beds for the

demonstrator in stage

m.

[J a broad European dimension - whilst keeping the consortium to a

manageable size.

[J involvement of the private sector - particularly SMEs, is specially

encouraged in all Action Lines.

[J a multi-disciplinary approach -which brings together the required range

of skills.

Project proposals should be prepared in sufficient detail and with sufficient care to enable an objective technical and management appreciation of the proposal, its timeliness and its feasibility. Proposals for R&TD projects should also identify explicitly which of the areas of the workplan - Action Lines (and corresponding technical objectives), Task Goals and Call Topics -are addressed. Proposers -are invited to focus especially on the Call topics (revised version for this Call 1:i> see appendix AI). They should broadly conform to the stages described in the chapter "Implementation of Projects". They should be able to demonstrate to what extent they fulfill the general criteria set out in the TELEMATICS Infonnation Package (l:i> Introduction).

Proposals must provide a full description of the initial stages up to and including Stage IT (ie. up to testing and verification). Stage m need only be

outlined if its course is highly dependent on the outcome of the previous

work and if this is demonstrated in the proposal. Nevertheless, the goal, approach and scope of the planned demonstratio~ dissemination and exploitation activities must be specified.

At the interface between the stages, proposers must plan checkpoints or

milestones which nonnally trigger a thorough technical review of the

achievements and which may determine the further course of the project.

Moreover, in accordance with the requirements set out in the TELEMATICS

Infonnation Package, proposers must:

Baseline and Targets Commitment Promotion Plans Validation and Assessment Duration and Funding

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Results

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Budget, Costs and Ceilings

Eligible costs

Budget repartition and expected project sizing

Telematics for Libraries

0 clearly specify in the proposal narrative the starting point of the project (e.g. technological baseline and state-of-the-art, and if relevant how it builds on previous work and projects), the objectives to be achieved (including improvements with respect to existing products and services), and how the chosen technology (technologies) relates to the target application. Realism and feasibility of the goals stated in the proposal will be amongst the key evaluation criteria. Proposals should take due account of the work undertaken under FP III.

0 provide clear expressions of interest, commitment of resources, involvement/participation/sponsorship of the relevant libraries or library-related organisations, public authorities and private sector organisations.

0 provide plans for promotion and dissemination of the results and for achieving a multiplier effect from the project.

0 set out the methods, measures and procedures to be used for validation and system assessment. To this effect, the proposal will specify verifiable objectives along with the test conditions applicable to verification and to demonstration.

(IE> see also Project description: summary of main points at Appendix A3)

During the contract negotiation, successful proposers will be requested to provide more details on the above issues, including information on the chosen user and technology base; on the management plan and structure including measures for quality control and risk analysis; on concertation and co-operation mechanisms; as well as on the repartition of the estimated resources required to cany out the project.

Projects should normally be completed within three years and preferably less. Depending on the specific objective of the Action Line, the nature and size of the project and the budget situation, contracts may initially be offered only for the first stages of the project. The proposals should nevertheless provide the project description for the full expected duration.

The Commission requires contractors to make selected results available outside the consortium. This applies in particular to deliverables such as reports on methodological comparisons, surveys, test results of a generic bench-marking nature, guidelines for implementors, contributions to best practice, etc. To this effect, proposers must specify the intended status of intermediate and final project deliverables (i.e. confidential, restricted or public).

0 Note that mainstream library automation software and hardware is considered a basic prerequisite facility for a project. Its acquisition, however, cannot be a component of the project.

0 In stage m, not all cost components will be considered as eligible. This can have the effect of reducing the percentage of the EU contribution to the demonstrator stage of the project.

0 An indicative repartition between the action lines of the budget available to projects in the Libraries sector is set out in the chapter "Objectives". This repartition is based on a number of assumptions which include the principal thrust to be given by the programme of work and the average expected size of the projects in the different areas covered.

0 In order to provide guidance in planning the scale of project proposals for submission under the Calls for Proposals, recommended ceilings for the

EU contribution and expected project sizes, according to the nature and category of projects, are suggested below. Note however that the nature of Action Line B calls for larger scale "flagship" projects, but also in certain circumstances for smaller test-beds, which can subsequently be expanded upon.

Specific Support Measures

Introduction

Support actions and

the present CaN

Telematics for Libraries

Action Line Expected project size Average recommended

ceiling of EU contribution Action Line A _{0.6-1 Mecu} O.S Mecu

Action Line B

- larger interconnection 3 -4Mecu 2Mecu projects

- smaller test-beds 1-2Mecu 1Mecu

Action Line C 0.6-1 Mecu O.S Mecu

The Libraries sector workplan includes a chapter on support issues specific to Telematics for Libraries.

These measures concern:

a) Support to relevant concerted actions (as formally defined in Annex ill, paragraph 2(d) of the Council Decision of 23rd November 1994 for the TELEMATICS APPliCATIONS PROGRAMMER4) as well as special

interest groups and other types of platforms which can further the sector's objectives in the short and medium term and are related to the technical domains covered by the Libraries workplan;

b) Special support actions to address issues involved in the transition towards networked library services in a long-term perspective and help mobilise and assist the library community and its partners in

responding to the programme;

c) Attention to training, skills and awareness-raising issues in order to create the right climate for the organisational change needed to respond to technical change promoted;

d) Accompanying activities supporting the exploitation and transfer of results to encourage the move from an experimental to an operational service environment as well as supporting exchange of know-how through clustering and concertation events.

At project level there is an obligation to disseminate results adequately; however there remains a need for additional mechanisms which can efficiently support these activities and increase their impact, bearing in mind the start-up nature of the previous Libraries sub-programme, the relatively small scale of the projects launched and the fragmented libraries scene in Europe. Appropriate mechanisms and related expertise are needed to ensure

the best and broadest dissemination and use of these results and the transfer

of know-how based on these results.

Under the present Call, proposals for such accompanying and complementary measures are invited providing:

[J They are pertinent to the scope of the workplan (Actions Lines and Call topics);

[J They further the goals of mobilising and assisting the libraries community; and where relevant,

[J They build upon work already undertaken in the Libraries area either under FP lll or through the previous Call for Proposals of the sector; or

[J They build upon or extend relevant national/regional work already undertaken.

..

SMEs

C&EE Countries Participation

Telematics for Libraries

This applies partiCularly to:

[J Establishment and operation of special interest groups and platforms

of a transnational nature as well as concerted actions strictu sensu (bringing together project clusters to share research objectives and results);

[J Organising the promotion of emerging results through coordinated

demonstrations and focused seminars at major international library-related professional events;

[J Special actions

- to support standards and develop widely acceptable guidelines and

models aimed at specific areas of the workplan and at facilitating interworking;

- investigating questions related to digital libraries and electronic

publishing;

- in exceptional circumstances, particularly argued,

well-defined and justified extensions of the demonstration stage (stage

III) of validated applications developed by Libraries sector projects to additional test/replication sites in different countries (especially there where the original project only had 2-3 test sites). This is designed to assist projects in addressing in a more coherent fashion the exploitation and deployment issues of their results.

These specific support measures may be implemented using the

shared-cost scheme or the 100 % funding of allowable costs of accompanying

measures as the case may be. Proposers may contact the Libraries unit for further advice on appropriate funding models.

Proposers should note that some concerted actions as well as special

interest groups and implementors platforms etc. are already being

supported in specific areas since FP III (IX> see document Bl).

The TELEMATICS APPLICATIONS PROGRAMME has paid specific attention to the

adequate involvement of SMEs in the RTD promoted under the programme,

under Area E of the workprogramme (IX> see Workprogramme of the

TELEMATICS APPLICATIONS PROGRAMME and its Technical Annex).

It has not been possible for the Libraries sector specifically and separately to

encourage SME participation in its workplan through exploratory awards, as initially envisaged and as experimented under FP III.

The participation of Central and Eastern European countries is possible in

this Call for Proposals under the rules described in the TELEMATICS

APPLICATIONS Information Package. Such participation is particularly

encouraged for:

- extensions to existing projects to provide additional features or test

environments;

- as additional demonstrator test sites for on-going or new projects.

Note that the funding for such participation is subject to the rules for international cooperation under the Activity 2 (INCO-COPERNICUS)

programme of FP IV as well as those of the TELEMATICS APPLICATIONS

PROGRAMME (eg. the rules for demonstration stage funding see above).

Consortia of EU projects must naturally be in agreement with such project extensions and additional testing environments. Particular attention must be paid to the way these extensions/additions will be set up and managed without jeopardising or retarding the existing projects.

GENERAL ADVICE

FOR PROPOSERs - Proposers should focus on results to be achieved, and how the Partners

Telematics for Libraries

intend to exploit the results.

- Proposals should be complete but concise - they are judged on content not

on volume of paper. All aspects (e.g. managerial, technical, exploitation of results) must be equally well developed.

- A proposal is not a detailed project plan. Detailed project plans (the

technical annex to the contract) are required at the contract stage only.

- Proposals should be drafted in a clear and understandable way, bearing in

mind that they will be evaluated by panels of experts with varied

technical and linguistic backgrounds.

- Consortia should be of manageable size - experience has shown that

international consortia with over half a dozen full partners are often very

difficult and costly to manage - with clear attribution of roles amongst the

different types of partners.

- Remember that there will be competition, and a weak component in the

proposal might make it lose out to the better ones.

- Arrange for your proposal to be evaluated by colleagues. If you discover

any weakness, improve your proposal before submitting it. Remember that proposals must convincingly show the validity of the idea, the

viability of the solutions, the visibility of the results and the credibility of

the consortium.

- Proposing organisations who do not have a reliable and detailed full cost

accounting system are advised to opt for the additional expenditure

option (additional marginal costs) - especially for smaller projects. Proposers selecting this option are reminded that the labour costs of persons already on the payroll are not allowable costs for EU funding.

- The support of your National Focal Point for Libraries for your proposal

may well ensure both coherence with national policies for libraries and

financial support. It can also assist in partner-finding.

- For assistance, contact the National Focal Points, at the addresses given

in li> Appendix A4, or the Libraries Unit ofDG XIII-FJ4 at the address

given in the introduction.

The narrative part of the proposal (form B) should be written with the aim

of:

- Identifying and justifying the objectives and goals~

- Specifying the expected concrete results and deliverables of the proposed

project and the way they will be validated and demonstrated;

- Describing the options to be explored;

- Outlining the content, methodology and timescales of the proposed

project work-plan identifying stages, work-packages, milestones, reviews, and specifying standards to be applied;

- Defining the effort required (in terms of personnel, facilities and services,

equipment);

- Indicating the project management techniques to be adopted, bearing in

mind that the proposal is for a cooperative project (e.g. decision process, information flow, organisation, planning and reporting, etc);

- Demonstrating the competences and skills of the consortium and the

respective roles and contributions of the participants.

([i) see also Appendix A3 for further guidance)

Documents and References

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Appendices

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Documents

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References

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Telematics for Libraries

AI Telematics for Libraries- Call for Proposals 1996: Expansion of Research Tasks: Context and Scope of Call Topics (revised October 1996)

A2 Outline of a proposal to be submitted to the LIBRARIES sector of the Telematics Applications Programme (form)

A3 Project description: SUilll1l3IY of main points

A4 List of the National Focal Points for "Telematics for Libraries"

Bl*

B2*

B3*

B4*

Rl

Telematics Applications Programme 19941998: Synopses of Projects -release CfP'95 (October 1996)

Discussion document: "Draft Libraries Workprogramme 1994-1998" (June 1994)

Synopses of Projects supported by the European Commission for the Application ofTelematic Systems in Libraries (December 1995) - FP ill

"Libraries programme: Activities 1986-1994" (September 1996)

White Paper on "Growth, Competitiveness, Employment: The Challenges and Ways Forward into the 21st Centwy", Luxembourg: Office for Official

Publications of the European Communities, 1994; ISBN 92-826-7423-1

(Parts A and B); ISBN 92-826-7071-6 (Part C).

R2 "Europe and the Global Infonnation Society. Recommendations to the European Council", European Commission, 1994.

R3 Decision of Council and Parliament 1110/94/EEC of 26 April 1994 adopting the Fourth Framework Programme (O.J. L 126 of 18.05.1994, pp. 1-33).

R4 Council Decision of 23 November 1994 adopting the Telematics Applications Programme (94/80 1/EC, O.J. L 334 of 22.12. 94, pp. 1-23).

* Copies available from DG XIII-E/4 European Commission

EUFO 1275

Rue Alcide de Gasperi, l-2920 luxembourg Fax: 352/4301 33530

European Commission

Directorate General XIII

Electronic publishing and libraries

APPENDIX A1

TELEMATICS APPLICATIONS

PROGRAMME 1994-1998

Telematics for Libraries

Call for Proposals 1996

Expansion of Research Tasks:

Context and Scope of Call Topics

Revised October 1996 (ver 0.1)

J'

Contents

Introduction 1

Summary list of CaD Topics 3

Check list of priorities and characteristics of projects 4

Action Line A

s

Action Line B 13

Action Line C

21

Purpose of this document

How the document is structured

INTRODUCTION

Libraries is one of the sectors in the Telematics Applications Programme under the Fourth Framework Prorgramme for Research, Technological Development and Demonstration Activities. Work in the libraries sector aims to help increase the ready availability . of library resources across Europe and to facilitate their interconnection with the information and communications infrastructure. The libraries sector workplan is structured into three Action Lines -A, B and C - each with a number of Tasks and a list of issues involved. It is essentially a framework document and the Tasks defined in it represent specific objectives (Task Goals) rather than concrete actions or definite areas of activity.

In order to help potential proposers, the framework has been expanded into a series of Call Topics which provide additional context for proposed actions under the libraries sector workplan. The Call Topics provide a series of scenarios or action areas through which the Action Line goals can be addressed and which include the main technical, professional and user issues identified in the sector workplan. They are not intended to be comprehensive or mandatory. However, proposers are encouraged to use the Topics as a focus since they reflect priority actions with good potential to contribute to the programme objectives. They address both continuity with the previous programme and innovation in the area of electronic library services and networked information.

This document reflects the structure of the workplan. The Call Topics are grouped by Action Line, A, B and C. For ease of reference, the Action Line title, its objectives and Task Goals have been included exactly as they are presented in the workplan.

For each Action Line, the group of Call Topics is introduced by a description of the Action Line and a discussion of its rationale and objectives (the Background). This is followed by the Context for the Call Topics which links each Topic to the Action Line and to each other.

The description of each Call Topic in the Action Line then follows. For each Call Topic there is the Scope, describing the range of issues which may be pertinent to the Topic and which proposals addressing the Topic should take into consideration, as appropriate. The brief Rationale section explains the background to the Topic and its relevance and importance. It sets the Topic in the context of the wider library environment and, where appropriate, of previous library actions at EU-level. This is followed by an indication of the key Issues (principally service and organisational) and main Technical factors. A list of the types of organisation who might participate in projects under the Call

1-This version

Topic is also included. At the end there is a selected list of cross-references to past and ongoing projects: it is clearly important that

proposals for new projects do not repeat existing work but that they demonstrate how they build on and extend other initiatives and how they

are innovative in relation to past work and services.

The Call Topics were first issued to support the Call for Proposals in March 1995. This is the second version. It has been modified to clarify the descriptions and to eliminate areas of ambiguity between the Call Topics which existed in version 1. These mainly lay in the references to 'User access tools' (principally Call Topics 5 and 11, but also Call Topic 2). These have been clarified to put the focus on the delivery of services to users and on the context of that service delivery (local library, networked or distributed libraries, and the networked information world).

The modifications are:

• to the titles of some Topics which have been re-drafted to make their focus clearer -these are identified by bis after their number.

• to Call Topics 4 and 5, Action Line B which have been merged to emphasise the delivery of services.

• to Call Topic 7- this was previously aimed at models and scenarios for projects for future Calls and has been modified to focus on models for distributed digital library services that will meet library and citizens' needs over the next decade, with an explicit emphasis on alliances with other memory organisations holding digital collections.

• to Call Topics 8, 9 and 10, Action Line C - these all reflected

aspects of value-added services and have been rationalised by merging them into a single topic.

The reference list of projects and ongoing work has been updated with the results of the first Call for the libraries sector under FP4 (referred to as CfP'95).

For further information see: Libraries sector workplan

Discussion document: draft libraries work programme 1994 - 1998

Synopses of projects (FP3) published by the Office of Official

Publications

Synopses of projects (Release CfP'95). Updated October 1996

Full programme and project information is also available on:

http://www.echo.lullibrarieslenllibraries.html

Luxembourg, October 1996

-2-SUMMARY UST OF CALL TOPICS BY ACTION LINE

Action Line A Network-oriented Internal Library Systems

Objectives: Ensure that libraries are better placed to offer network-based services.

Call Topic 1 Integration tools and interfaces for library systems in the

local network

Call Topic 2 Tools and methods for the creation and use of library

materials in electronic form

Call Topic 3 Development and testing of tools for the management and

administration of library services in an electronic environment

Action Line B Telematics Applications for Interconnected Library Services

Objectives: Improve C<H>peration, resource development and resource sharing

between libraries and encourage the shift from collection to access based

services through interconnections between libraries, suppliers and publishers.

Call Topic 4-5 bis

Call Topic 6 bis

Call Topic 7 bis

Distributed library services

Services for the acquisition and supply of materials to

libraries

Models for distributed digital libraries and associated services

Action Line C Library Services for Access to Networked Information Resources

Objectives: Build on and extend information resources and services mediated and delivered by libraries.

Call Topic 8-9-10 bis Adding value to networked information services delivered

through libraries.

Call Topic 11 User applications supporting unified access to combined

networked information and library-based resources.

Call Topic 12 Integrating library services with distance learning

environments.

-3-CHECK-LIST OF PRIORITIES

&

CHARACfERISTICS OF PROJECfS

Note:

This check-list is derived from the workplan. It indicates properties or characteristics which will be taken into consideration when projects are evaluated.

• Projects and applications based on real needs and requirements, leading to concrete results with practical and visible demonstrators and capable of replication and multiplier effect

• Focus on systems and applications integration into new library service areas and on the integration of existing and emerging technologies into demonstrable applications

• Consolidation and exploitation (eg by transfer, further development) of results from the preceding libraries programme in order to build on the impetus developed

• Continuing emphasis on commitment to open standards

• Human resource issues, knowledge and skills transfer, and organisational issues remain critical to the successful implementation of the change needed if disparities in level of service, across all types of libraries throughout the EU, are to be reduced

• Scope for links with other programmes ( eg distance learning, telematics for research, language engineering, information engineering) where common problems or user communities exist for services or where libraries can be used as test grounds for results

• New alliances- with traditional partners (eg publishers, distributors) or with new partners (providers of distance learning, new networked information providers, network service providers etc) and even with other "memory organisations" (in order to arrive at common solutions in areas of common interest such as preservation and access).

-4-EXPANSION OF RESEARCH TASKS:

CONTEXT AND SCOPE OF CALL TOPICS

RESEARCH TASKS

1. Action Line A Network-oriented Internal Library Systems

Objectives:

I

Task goals

LB 1.1

LB 1.1

Ensure that libraries are better placed to offer network-based services.

LIBRARY SYSTEMS AND TOOLS

Modernisation of library systems and tools through development of

more cost-effective systems and tools and "easy-entry" technology to

encourage reductions in disparity.

MARKET STIMULUS

Provide continued stimulus to the European market for systems and

tools for libraries.

-S-Background

Context for Call Topics

Budeet

Action Line A is an enabling action line so that libraries can network on

open platfonns and can open up access to their resources. The focus is

on the library's position in its local infrastructure. The Action Line

aims to modernise library systems so that services can be delivered over

local networks and fully integrated with other services and systems in

the local parent organisation of the library (the local authority, the

university etc). It aims to reinforce the library's position as the initial

and central point of access to information and to services.

This Action Line builds on the emerging results of projects under the

previous programme, especially the wide range of projects in Action

Lines

m

and IV which addressed the development of tools and products

for new services. It encourages shared international developments,

particularly in partnership with the private sector, in order to give a

stimulus to the European market. To do this, solutions and tools must

be transferable and of general applicability. Projects must be easily

replicable with a strong multiplier effect.

Libraries can only play a role in the local infrastructure if they have

systems which are capable of integrating library services with other

services provided through the parent organisation and the local

network. The existing systems in libraries will also need to be

integrated with new library services and functions, especially for

electronic materiats. To do this cost-effectively, systems will need to

be based on open platfonns and standard tools. There is also scope to

develop systems offering core, entry-level products to which standard

enhancements can be added: this offers an affordable and incremental

up-grade path.

New services in libraries will increasingly be based on access to and

delivery of resources in electronic form. It is important

th8t

libraries

provide a window in to the knowledge they have in their collections, and

not just a window out to the information world. These services will

need new systems to support the handling and use of the electronic

materials. As libraries develop these new services, then new approaches

to work-flows and to the distribution of tasks in the library will evolve,

requiring the development of appropriate new management methods and

tools.

The estimated budget available for this Action Line is of the order of ISo/o-20%.

-6-CALLTOPICl

Scope

Rationale

Issues

Technical factors

Integration tools and interfaces for library systems in the

local network

• intearatina &brary systems and operations with other systems in the oraanisation

• intezratina &brary systems with new components in support of

new services

This topic is concerned with developing systems and tools for libraries so that they can incorporate the core functions of current library

systems with other systems and services. This will enable library staff

to:

(i) integrate existing library operations and functions with other systems and services in their parent organisation;

(ii)develop better services to users.

There are two main arguments behind this topic:

• the need for library sytems to interface with other systems in the

local infrastructure to which the user has access, so that from the

starting point of the library the user can navigate to other relevant

infonnation and ~rvices in the local network;

• the need to integrate traditional library systems with new components to increase the range of services delivered, particularly with respect to electronic materials.

Issues affecting the development of new services include:

- development of organisational approaches to service integration in particular local contexts (ie relationships with other departments and organisations);

the level and complexity of services and the provision of appropriate

assistance, according to user-skills and needs;

authorisation, registration, monitoring and evaluation of use, including possibly issues of internal accounting and charging policies.

Amongst the technical issues to be considered are:

- open, i.e. non-proprietary, solutions easily transferable and

adaptable to new services and user-needs;

- application of appropriate standards for library servers and for the development of clients, particularly those integrating services;

- application of appropriate technical approaches transferred from

other domains (eg client-server approach to systems design and

development; standard GUI interfaces; innovative use of new

technologies such as chipcards ).

-7-Complementarity with previous work

Taraeted Oraanisations & Alliances

Projects: HYPERLm, CASELmRARY, MECANO, OLUIT, SELF

(FP3)

ILIERS, TOLIMAC (CFP'95)

Study: Technical briefings for systems librarians, edited by John

Ashford. Luxembourg, Office for Official Publications, 1996. ISBN: 92-827-7644-1

Libraries; library systems developers and suppliers; software houses;

systems integrators; computing departments and services; administrations.

-8-CALLTOPIC2

Scope

Rationale

Issues

Tools and methods for the creation, maintenance and use of

library materials in electronic form

• creation of di&ital copies of library materials in support of preservation

• verification of the authenticity of materials, content intearity and control of access and use

• development of functions to support user access and manipulation of electronic documents in libraries

• development of tools in support of lone term availability

This Call Topic encourages libraries to integrate electronic and multi-media products into their collections and services. It targets work which

will contribute to developing test-beds of digital library collections, for

instance through the four main areas listed above. Projects should aim

at integrating work in at least two relevant areas into test-bed services in

a library.

The primary focus is on services based on the materials libraries

normally acquire and store. However, libraries can consider

cooperating with other cultural heritage or memory organisations to develop common solutions to shared problems.

Th~ Topic calls for appropriately scoped projects to test tools and

techniques and not for large-scale digitisation exercises.

If libraries are to provide services which reflect the digital environment,

then they must:

(i) incorporate new electronic products into library collections and

services;

(ii) make existing resources more accessible - provide a window in to

the knowledge they hold. This means, in addition to acquiring new

products, converting existing print-based items to digital form. Such conversions may be carried out to save storage space, to provide

better services (eg to satisfy demand from remote users for fast

document delivery), or to create surrogates of rare and fragile works.

Libraries face particular problems in the heterogeneity of the materials

they acquire and in the need to maintain them for long-term future use.

Conversion requires solutions which test also appropriate methodologies and collaborative strategies, covering for example:

- conversion costs and methods for scaling-up from experimental to

operational environments;

- elimination of duplication of effort ( eg by scan-once policies);

- guaranteeing 'last' or 'archival' copy availability (e.g. by keeping locations infonnation on masters and on copies);

-9-Issues (cont) Electronic documents raise questions of:

- cataloguing so that their content is readily accessible to users;

- additional infonnation to support other maintenance functions, such

as the fonnat of the document, date, requirements for storage;

- conditions on use of the documents, eg licences applicable,

conditions for display and printing, charges applicable etc.

- approaches to the application of authentication techniques: test and

evaluate their use at the document creation stage and at time of use.

Technical factors These include:

Complementarity with previous work

Targeted

Organisations & Alliances

- test and adaptation to the library environment of existing

components, taking account of factors such as: ·potentially large volumes of data;

·heterogeneity of material types and fonnats;

·appropriate data and fonnat standards;

·handling and protecting fragile works; ·costs of digitising;

·optimal media for storage and distribution.

- techniques to support authentication and document integrity - their application to creation, storage and usage;

- access and manipulation tools, taking account of: ·wide range of fonnats;

·personal research facilities ( eg take notes, download extracts,

support cross-referencing, printing etc.);

- open standards - so developments are portable to other libraries and

systems and can be integrated into other systems in the library;

- developing tools and techniques which will support long-term

archival availability of electronic materials ( eg migration systems, emulators).

Projects: ELISE, VAN EYCK, DECOMA TE, ELSA, RIDDLE, INCIPIT; MUMLm, BAMBI (FP3)

CHILIAS, TESTLAB, DELICAT (CFP'95)

Libraries; document management systems suppliers; hardware/software suppliers of scanning and storage tools; digitisation services; software

developers and integrators; computing & communications deparbnents

and services; library systems suppliers; other cultural heritage and memory organisations, eg museums, galleries, archives etc; publishers.

-10-CALLTOPIC3

Scope

Rationale

Issues

Development and testing of tools for the management of

library services in an electronic environment

• tools for management of multiple electronic document stores and fdes in libraries

• tools for application of work Oow re-engineering techniques to library operations

The first part of this Call Topic is concerned with developing tools for

managing collections of electronic materials in libraries - as distinct

from managing the individual documents themselves. Libraries need to manage a wide range of computer files and media, containing resource

records, administrative data, databases and document stores. Libraries

now require support systems and tools which will help them identify and

implement management policies for these collections.

The second element is that with the increasing use of networked systems

and of electronic resources and services in libraries, libraries need to

consider:

their traditional work-flows and organisation of tasks;

the ways they interact with their users;

their interactions with other deparbnents and services in their organisation;

their interactions with their suppliers.

Tools are needed to evaluate and manage optional work flow patterns. Existing library management tools and management systems have, on

the whole, been developed to support traditional library operations and

services based on paper collections. However, the changing

management and operational environments in libraries impose new

requirements for library management tools and systems.

Investigation of management strategies based on the development and evaluation of techniques covering:

- optimal storage media for particular material types and fonnats;

- refreshment cycles and frequency, again by material types, usage

etc.;

- archiving - whether locally or by transfer/copy to recognised

deposits;

- usage levels and appropriate storage and access strategies; - monitoring and evaluation of usage;

- staffre-training.

11-Technical factors These include:

Complementarity with previous work

Targeted Organisations & Alliances

- capability to integrate with existing library systems;

- assessment and integration of techniques for: protecting the integrity of files; security management; administering charging, usage and

cost-recovery policies. (Charging systems etc should be compatible

with any being developed for accessing external networked services.) - testing in the library domain work-flow re-engineering tools applied

in other areas.

Projects: DECIDE, DECIMAL, EQLIPSE, MINSTREL, DECOMATE, SELF (FP3)

Concerted action: CAMILE (CFP'95)

Study: Library performance indicators and management tools, by

Suzanne Ward et al. Luxembourg, Office of Official Publications,

1995.ISB~:92-827-4901-0

Libraries; library systems developers and suppliers; software houses; computing deparbnents and services, management consultancies.

12-l.Action Line B Telematics Applications for Interconnected Library

Services

Objectives:

I

Task goals

LBl.l

LBl.l

LBl.3

LBl.4

Background

Improve co-operation, resource development and resource sharin& between Hbraries and encouraae the shift from coUection to access based services throu&h interconnections between Hbraries, suppliers and publishers.

LIBRARY INTERCONNECTION

Interconnection between libraries to support development and enhanced services based on a distributed library resource in Europe.

CRO~BORDERSERVICES

Integrated cross-border services for data-exchange, interlibrary lending

and document delivery between libraries.

ACQUISmON AND DISTRIBUTION

Electronic links between libraries and publishers/suppliers for

acquisition and distribution of materials and data.

STANDARDS F'OR LIBRARIES

Development, testing and integration of open standards in libraries.

Action Line B concentrates on the development of networked library services, based primarily on the collections libraries collectively acquire,

hold and manage. It includes not only networking between libraries but

also between libraries and their suppliers of materials, in order to

modernise and improve the cost-effectiveness of the distribution chain.

It focuses on creating platforms that can be transferable to other library

systems and services and on scaling-up existing pilots of interconnected systems and services to demonstrate cross-border viability. The ability

of projects to generate service demand and to transfer results is

important. It builds explicitly on work in the previous Libraries

programme (especially Actions Lines I and II) but also encourages

projects to exploit existing collaborative frameworks and national

developments.

13-Context for

Call Topics

Budget

A key factor in the Action Line is the need for strong partnerships to support the technical developments, to encourage service developments and exploitation, and to support large-scale demonstrators.

The previous libraries programme addressed two core problems affecting the development of a libraries infrastructure in Europe: the availability and accessibility of bibliographic records (Action Line Q; and testing interconnections between systems for different library functions (Action Line II). These included catalogue enquiry

(SRIZ39.50), electronic document delivery, acquisition of materials via EDIFACT, and record exchange. The work carried out contributes to the creation of components or building blocks which now need to be

integrated into applications which satisfy users' requirements for access and delivery services. As more library resources and materials become accessible over networks, the potential to develop new distributed library services increases. There are many forms for these, depending on factors such as: the nature of the resource; the availability and capacity of the existing library infrastructure; international demand for the services; language and cultural issues; access to and cost of appropriate network facilities for libraries and for their users. As libraries and library policy at local and national level move from being collection driven to access driven, new service and acquisition models will be needed.

New models are also need in the supply of materials: existing methods for the acquisition and supply to libraries of published works need to be adapted to the electronic environment and appropriate methods for delivery, authorisation, payment and cost-recovery developed. There is scope for libraries and publishers to develop new partnerships in the electronic publishing environment.

Increasingly, libraries will also contribute to larger distributed digital libraries, whose resources may contain also collections from museums, data archives, and other memory organisations. There is a need to investigate the new models for maintaining, providing access to and delivering services from these new collections.

The estimated budget available for this Action Line is of the order of 60o/o-70%.